`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
` Paper No. ____
`Filed: September 3, 2014
`
`
`
`
`
`
`
`
`UNITED STATES PATENT AND TRADEMARK OFFICE
`__________________
`BEFORE THE PATENT TRIAL AND APPEAL BOARD
`__________________
`TD AMERITRADE HOLDING CORPORATION,
`TD AMERITRADE, INC., and
`TD AMERITRADE ONLINE HOLDINGS CORP.
`Petitioners
`v.
`
` TRADING TECHNOLOGIES INTERNATIONAL, INC.
`Patent Owner
`_________________
`Case No. CBM2014-00135
`
`U.S. Patent 6,772,132
`_________________
`
`PATENT OWNER’S UPDATED EXHIBIT LIST
`
`
`
`
`
`
`
`
`
`
`
`

`

`Case CBM2014-00135
` U.S. Patent 6,772,132
`
`
`
`
`
`
`
`Further to 37 C.F.R. § 42.63(e), Patent Owner Trading Technologies
`
`International, Inc. hereby submits a current listing of Trading Technologies
`
`Exhibits to counsel for Petitioners TD Ameritrade Holding Corporation, TD
`
`Ameritrade Inc., and TD Ameritrade Online Holdings Corp.
`
`Exhibit 2003
`Exhibit 2004
`
`Exhibit 2005
`
`Filed Exhibits Description
`Exhibit 2001
`Communications regarding motion to disqualify
`Exhibit 2002
`PTAB Trail Blog-Drinker Biddle “Denying Leave to File Motion
`for Additional Discovery CBM2014-00131, 133, 135, 136, 137.”
`(August 18, 2014)
`Emails Between Parties Relating to Hilmert Memo
`Trading Technologies International, Inc. v. eSpeed, Inc., eSpeed,
`International, Ltd., and Ecco Ware Ltd., Case No. 1:04-CV-
`05312 (N.D. Ill.), Docket No. 963, Memorandum Opinion and
`Order (September 12, 2007)
`Trading Technologies International, Inc. v. BCG Partners, Inc.,
`Case No. 1:10-CV-00715 (N.D. Ill.), Docket No. 409,
`Defendants’ Reply Memorandum of Law In Support Of Joint
`Motion For Summary Judgment That The ‘056 Patent Is Invalid
`Under 35 U.S.C. § 112 ¶ 1 For Lack Of Written Description
`(October 7, 2011)
`Trading Technologies International, Inc. v. Open E Cry, LLC et
`al., Case 2012-1583 (Federal Circuit Appeals), Decision (August
`30, 2013)
`Trading Technologies International, Inc. v. GL Trade Americas,
`Inc., FuturePath Trading, LLC et al., Tutorial Presentation (Feb.
`19, 2014)
`Reserved
`Senate Congressional Record S5402, Leahy-Smith America
`Invents Act (September 8, 2011)
`Redacted Second Corrected Expert Report of Christopher
`Thomas, Trading Technologies International, Inc. v. CQG, Inc.,
`Case No. 1:05-CV-04811 (N.D. Ill. Dec. 12, 2013)
`Volume 4-A Trial Transcript of the Proceedings Before The
`Honorable James B. Moran and a Jury, Trading Technologies
`2
`
`Exhibit 2006
`
`Exhibit 2007
`
`Exhibit 2008
`Exhibit 2009
`
`Exhibit 2010
`
`Exhibit 2011
`
`
`
`

`

`
`
`Exhibit 2012
`Exhibit 2013
`
`Exhibit 2014
`
`Exhibit 2015
`
`Exhibit 2016
`Exhibit 2017
`Exhibit 2018
`Exhibit 2019
`Exhibit 2020
`Exhibit 2021
`Exhibit 2022
`Exhibit 2023
`Exhibit 2024
`Exhibit 2025
`Exhibit 2026
`Exhibit 2027
`Exhibit 2028
`Exhibit 2029
`Exhibit 2030
`Exhibit 2031
`Exhibit 2032
`Exhibit 2033
`Exhibit 2034
`Exhibit 2035
`Exhibit 2036
`Exhibit 2037
`Exhibit 2038
`Exhibit 2039
`
`
`
`Case CBM2014-00135
` U.S. Patent 6,772,132
`
`
`
`
`
`
`International, Inc. v. eSpeed, Inc., Case No. 1:04-CV-05312
`(N.D. Ill. Sept. 17, 2007)
`Video illustrating problem in previous systems
`Original Design Harris Brumfield and Gary Kemp (September
`1998)
`Video illustrating the visualization difference between the prior
`Figure 2 style screens and the invention
`Trading Technologies X_Trader® Futures Trading Software
`Brochure
`Declaration of David F. Anthony (July 29, 2004)
`Declaration of Pace Beattie (Aug. 25, 2004)
`Declaration of Thomas Burns (Aug. 16, 2004)
`Declaration of Ray Cahnman (July 23, 2004)
`Declaration of David Clark (July 30, 2004)
`Declaration of David Ellis (Sept. 13, 2004)
`Declaration of David Feltes (Aug. 27, 2004)
`Declaration of Steve Gancer (Aug. 3, 2004)
`Declaration of Brian Gelber (Aug. 9, 2004)
`Declaration of Joel Glickman (July 31, 2004)
`Declaration of Tom Grisafi (July 31, 2004)
`Declaration of Steven Janho (July 2004)
`Declaration of Paul R.T. Johnson, Jr. (July 29, 2004)
`Declaration of Scott L. Johnston (Sept. 24, 2004)
`Declaration of Corbin E. Kidd (Aug. 10, 2004)
`Declaration of Patrick Leone (Aug. 31, 2004)
`Declaration of Dieter Marlovics (Aug. 9, 2004)
`Declaration of David B. Martin, Jr. (Aug. 13, 2004)
`Declaration of Charles L. McElveen III (May 18, 2004)
`Declaration of Pablo Melgarejo (Aug. 23, 2004)
`Declaration of Mark A. Mendelson (July 28, 2004)
`Declaration of Doug Monieson (Aug. 9, 2004)
`Declaration of Rob Moore (July 27, 2004)
`Declaration of Peter Moricz (Aug. 16, 2004)
`
`3
`
`

`

`
`Exhibit 2040
`Exhibit 2041
`Exhibit 2042
`Exhibit 2043
`Exhibit 2044
`Exhibit 2045
`Exhibit 2046
`Exhibit 2047
`
`Exhibit 2048
`
`Exhibit 2049
`
`Exhibit 2050
`
`Exhibit 2051
`
`Exhibit 2052
`
`Exhibit 2053
`
`Exhibit 2054
`
`Exhibit 2055
`
`Exhibit 2056
`
`Exhibit 2057
`
`Exhibit 2058
`
`Exhibit 2059
`
`
`
`Case CBM2014-00135
` U.S. Patent 6,772,132
`
`
`
`
`
`
`Declaration of Jason Northway (Aug. 10, 2004)
`Declaration of Mark Oryhon (Aug. 5, 2004)
`Declaration of Arthur Parker (Aug. 10, 2004)
`Declaration of Chuck Ryan (Aug. 31, 2004)
`Declaration of Lawrence Schulman (July 28, 2004)
`Declaration of Russell A. Warner (Aug. 17, 2004)
`Declaration of James J. Zellinger (Aug. 31, 2004)
`Letter to S. Mandell forwarding TT production DVDs in Trading
`Technologies International, Inc. v. BGC Partners, Inc., Case No.
`1:10-CV-00715 (N.D. Ill.) (May 11, 2011)
`Video demonstrating the interaction of the dynamic bid/ask
`indicators and bid/ask display regions and the price axis of the
`claimed GUI
`Video comparing the interaction of the dynamic bid/ask
`indicators and bid/ask display regions and the price axis of the
`claimed GUI, to the prior screens
`Notice of Intent to Issue Ex Parte Reexamination Certificate
`90/008,576 (January 16, 2008)
`Order Denying Request for Ex Parte Reexamination 90/011,250
`(December 14, 2010)
`Senate Congressional Record S1360, Patent Reform Act of 2011
`(March 8, 2011)
`National Aeronautics and Space Administration Web Page Print
`out, Technical Areas
`National Aeronautics and Space Administration Web Page Print
`out, Human Computer Interaction Group
`University of Washington Web Page Print out, Human-Computer
`Interaction Degree Option
`Rochester Institute of Technology Web Page Print out, Masters
`in Human Computer Interaction
`Rensselaer Polytechnic Institute Web Page Print out, M.S. in
`Human-Computer Interaction
`Tufts University Web Page Print out, Human-Computer
`Interaction Certificate Program
`Georgia Institute of Technology Web Page Print out, Human-
`
`4
`
`

`

`
`
`Exhibit 2060
`
`Exhibit 2061
`
`Exhibit 2062
`
`Exhibit 2063
`
`Exhibit 2064
`
`Exhibit 2065
`
`Exhibit 2066
`
`Exhibit 2067
`
`Exhibit 2068
`
`Exhibit 2069
`
`Exhibit 2070
`
`Exhibit 2071
`
`Exhibit 2072
`
`Exhibit 2073
`
`Exhibit 2074
`
`Exhibit 2075
`
`Exhibit 2076
`
`
`
`Case CBM2014-00135
` U.S. Patent 6,772,132
`
`
`
`
`
`
`Computer Interaction Master’s Program
`DePaul University Web Page Print out, Master of Science
`Human-Computer Interaction
`Carnegie Mellon University Web Page Print out, Masters of
`Human-Computer Interaction
`European Patent Office Minutes from Oral Proceedings and
`Claims (June 30, 2004)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Goldenberg,
`Hehmeyer & Co., Case No. 1:04-CV-06278 (N.D. Ill. Sept. 30,
`2004)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Kingstree
`Trading, Case No. 1:04-CV-06740 Dkt. No. 4 (N.D. Ill. Oct. 21,
`2004)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Ninja Trader,
`LLC, Case No. 1:05-CV-03953 (N.D. Ill. June 14, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Man Fin., Inc.,
`Case No. 1:05-CV-02164 (N.D. Ill. Nov. 30, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Patsystems (NA)
`LLC, Case No. 1:05-CV-02984 (N.D. Ill. May 20, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. GL Consultants,
`Inc., Case No. 1:05-CV-04120 (N.D. Ill. Dec. 7, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Peregrine Fin.
`Grp., Inc., Case No. 1:05-CV-04137 (N.D. Ill. Mar. 23, 2006)
`Consent Judgment, Trading Techs. Int’l, Inc. v. RTS Realtime
`Sys. Inc., Case No. 1:05-CV-04332 (N.D. Ill. Aug. 4, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Rolfe & Nolan
`Systems Inc., Case No. 1:05-CV-04354 (N.D. Ill. Aug. 5, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Strategy Runner,
`LLC, Case No. 1:05-CV-04357 (N.D. Ill. Aug. 22, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. FFastFill Plc,
`Case No. 1:05-CV-04449 (N.D. Ill. Aug 10, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. TransMarket
`Group LLC, Case No. 1:05-CV-05161 (N.D. Ill. Sept. 13, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Orc Software
`Inc., Case No. 1:05-CV-06265 (N.D. Ill. Nov. 2, 2005)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Refco Grp. Ltd.,
`
`5
`
`

`

`
`
`Exhibit 2077
`
`Exhibit 2078
`
`Exhibit 2079
`
`Exhibit 2080
`
`Exhibit 2081
`
`Exhibit 2082
`
`Exhibit 2083
`
`Exhibit 2084
`
`
`
`Case CBM2014-00135
` U.S. Patent 6,772,132
`
`
`
`
`
`
`LLC, Case No. 1:05-CV-01079 (N.D. Ill. Nov. 30, 2006)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Cunningham
`Trading Sys., LLC, Case No. 1:10-CV-00726, Dkt. No. 61 (N.D.
`Ill. Jan. 21, 2011)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Tradehelm, Inc.,
`Case No. 1:10-CV-00931, Dkt. No. 44 (N.D. Ill. Apr. 26, 2011)
`Consent Judgment, Rosenthal Collins Grp., LLC v. Trading
`Techs. Int’l, Inc., Case No. 1:05-CV-04088, Dkt. No. 558 (N.D.
`Ill. Nov. 15, 2011)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Rosenthal
`Collins Grp., LLC, Case No. 1:10-CV-00929, Dkt. No. 74 (N.D.
`Ill. Nov. 30, 2011)
`Consent Judgment, Trading Techs. Int’l, Inc. v. BGC Capital
`Markets, L.P., Case No. 1:10-CV-00715, Dkt. No. 524 (N.D. Ill.
`Feb. 6, 2014)
`Consent Judgment, Trading Techs. Int’l, Inc. v. Stellar Trading
`Sys., Ltd., Case No. 1:10-CV-00882, Dkt. No. 55 (N.D. Ill. Feb.
`4, 2014)
`Letter to S. Borsand forwarding copies of the Notice of
`Allowance and Fee(s) Due, dated February 10, 2004 for U.S.
`Patent Application No. 09/590,692
`Trading Techs. Int’l Inc.’s Resp. to CQGT, LLC’s and CQG,
`Inc.’s Final Invalidity Contentions, Trading Techs. Int’l, Inc. v.
`CQGT, LLC, Case No. 1:05-CV-04811 (N.D. Ill. June 21, 2013)
`
`
`Dated: September 3, 2014
`
`
`
`
`
`Respectfully submitted,
`By: /Erika H. Arner/
`Erika H. Arner, Lead Counsel
`Registration No. 57,540
`
`Joshua L. Goldberg, Backup Counsel
`Registration No. 59,369
`
`Finnegan, Henderson, Farabow, Garrett
`& Dunner, LLP
`11955 Freedom Drive
`Reston, VA 20190
`6
`
`

`

`
`
`
`
`
`
`
`
`Case CBM2014-00135
` U.S. Patent 6,772,132
`
`
`
`Steven F. Borsand, Backup Counsel
`Registration No. 36,752
`Trading Technologies
`International, Inc.
`222 South Riverside Plaza,
`Suite 1100
`Chicago, IL 60606
`
`Attorneys for Patent Owner Trading
`Technologies International, Inc.
`
`
`
`7
`
`

`

`CERTIFICATE OF SERVICE
`
`The undersigned hereby certifies that a copy of the foregoing Patent
`
`
`
`
`Owner’s Updated Exhibit List was served on September 3, 2014, via email
`
`directed to counsel of record for the Petitioner at the following:
`
`Lori A. Gordon
`lgordon-ptab@skgf.com
`
`Jonathan M. Strang
`jstrang-ptab@skgf.com
`
`Robert E. Sokohl
`rsokohl-ptab@skgf.com
`
`
`STERNE, KESSLER, GOLDSTEIN & FOX P.L.L.C.
`1100 New York Avenue, N.W.
`Washington, D.C. 20005-3934
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`/Ashley F. Cheung/
`Ashley F. Cheung
`Case Manager
`
`
`
`
`
`
`
`FINNEGAN, HENDERSON, FARABOW,
`GARRETT & DUNNER, LLP
`
`
`
`
`
`
`
`
`
`
`
`
`
`
`